RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
E•••••• A••••• R•••••••••
- V••••• I••••••••• A•••••••• L•• independent RIA currentsince Jan 22, 2020 · Stamford, Ct
- E•••• F•••••••• S•••••••• I••• independent RIAMay 3, 2016 to Jul 5, 2019 · E••••, Ct
- C•••••••• F•••••••• G•••• A••••••• formerMay 2, 2014 to Mar 30, 2016 · Middletown, Ct
- N•••••••• W••••• P••••••• L•• formerApr 4, 2014 to Apr 14, 2014 · West Hartford, Ct
- L•• F•••••••• L•• BD affiliatedNov 21, 2011 to Nov 21, 2011 · West Hartford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 10, 2009 to Feb 19, 2010 · Middletown, Ct
- E•••• F•••••••• S•••••••• I••• to V••••• I••••••••• A•••••••• L••left Jul 5, 2019, registered Jan 22, 2020 (201 days) · RIA to RIA
- C•••••••• F•••••••• G•••• A••••••• to E•••• F•••••••• S•••••••• I•••left Mar 30, 2016, registered May 3, 2016 (34 days) · Other
- N•••••••• W••••• P••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Apr 14, 2014, registered May 2, 2014 (18 days) · Other
- L•• F•••••••• L•• to N•••••••• W••••• P••••••• L••left Nov 21, 2011, registered Apr 4, 2014 (865 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Feb 19, 2010, registered Nov 21, 2011 (640 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address